Jose F. Bernier
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jose Federico Bernier was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1982. Jose had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1990 - February 4, 2015
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
August 19, 1987 - February 4, 2015
UBS FINANCIAL SERVICES INC.
July 27, 1987 - September 1, 1987
MERRILL LYNCH GOVERNMENT SECURITIES OF PUERTO RICO, INC.
May 23, 1986 - August 22, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 1983 - March 6, 1986
CREDIT SUISSE SECURITIES (USA) LLC
January 26, 1982 - May 24, 1983
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
